REQUEST FOR PROPOSALSchandigarhsacs.org.in/Docs/RFP_Int_Audit_2019.pdf · 2. Chandigarh SACS had...
Transcript of REQUEST FOR PROPOSALSchandigarhsacs.org.in/Docs/RFP_Int_Audit_2019.pdf · 2. Chandigarh SACS had...
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REQUESTFORPROPOSALS
InternalAuditofPeripheralUnitsandNGOsundertheChandigarhState
AIDSControlSociety
2019‐2020ProjectName‐NationalAIDSControlProjectCreditNo.–4299INIA/RFP/2013‐14
CHANDIGARHSTATEAIDSCONTROLSOCIETYInternationalHostel(NearCongressBhawan),Sector15‐A,ChandigarhPhone:0172‐2544589,2783300Fax:0172–2700171
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Section 1. Letter of Invitation
Memo. No. CSACS/AFU/2019/3285-97 Dated: December 09, 2019 Reference:– EOI published in newspapers/Chandigarh SACS website on
21.06.2019. To Dear Mr./Ms.: 1. The Chandigarh State AIDS Control Society under the National AIDS
Control Organization (NACO), Government of India (hereinafter called
“Borrower”) has received financing from the International Development
Association alongwith domestic budget support (hereinafter called “loan”)
towards the cost of National AIDS Control Project. The Borrower intends to
apply a portion of the funds to eligible payments under the contract for
which this Request for Proposals is issued.
2. Chandigarh SACS had appointed Internal Auditor for the Peripheral Units
& NGOs under Chandigarh SACS for the period from 01.04.2016 to
31.03.2017 @ Rs.60,000/- (plus taxes) and the contract was extended
upto FY 2018-19 on same terms and conditions.
3. The Chandigarh State AIDS Control Society now invites proposals to
provide the following consulting services: Internal Audit for the
Peripheral Units and NGOs under the Chandigarh State AIDS Control
Society initially for one year i.e. 2019-20 extended upto three years on
yearly performance basis. More details on the services are provided in the
Terms of Reference.
4. This Request for Proposal (RFP) has been addressed to the following
shortlisted Consultants:
S. No. Names of Firms 1 Agarwal A Kumar & Associates
2 Agarwal & Dhandhania
3 Gandhi Minocha & Co.
4 Sanjay Srivastava & Co.
5 N. C. Mittal & Co.
6 Davinder Pal Singh & Co.
7 Goyal Parul & Company
CHANDIGARHSTATEAIDSCONTROLSOCIETYInternationalHostel(NearCongressBhawan),Sector15‐A,ChandigarhPhone:0172‐2544589,2783300Fax:0172–2700171
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8 V. V. Bhalla & Company
9 Surinder Mahajan And Associates
10 B. M. Varma & Co.
11 Jasminder Singh & Associates
12 Amit Chaman & Associates
13 Hitesh Brij & Associates
It is not permissible to transfer this invitation to any other firm. 4. A firm will be selected under Least Cost Selection and procedures
described in this RFP, in accordance with the policies of the International
Development Association (IDA) detailed in the Guidelines - Selection and
Employment of Consultants by World Bank Borrowers which can be found
at the following website: www.worldbank.org/procure.
5. The RFP includes the following documents:
Section 1 - Letter of Invitation
Section 2 - Instructions to Consultants (including Data Sheet)
Section 3 - Technical Proposal - Standard Forms
Section 4 - Financial Proposal - Standard Forms
Section 5 - Terms of Reference
Section 6 - Standard Forms of Contract
6. In case of any query/clarification required the same may be sent on e-
mail:- [email protected] or call at 0172-2783300, 2544589
during any working day between 9:00 AM to 5:00 PM.
Sd/- Project Director, Chandigarh State AIDS Control Society, Union Territory, Chandigarh
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Section 2. Instructions to Consultants
Definitions (a) “Bank” means the International Bank for Reconstruction and
Development, Washington, D.C., U.S.A., or the International
Development Association, Washington, D.C., U.S.A.
(b) “Client” means the agency with which the selected Consultant signs the
Contract for the Services.
(c) “Consultant” means any entity or person that may provide or provides
the Services to the Client under the Contract.
(d) “Contract” means the Contract signed by the Parties and all the
attached documents listed in its Clause 1 that is the General Conditions
(GC), the Special Conditions (SC), and the Appendices.
(e) “Data Sheet” means such part of the Instructions to Consultants used
to reflect specific country and assignment conditions.
(f) “Day” means calendar day.
(g) “Government” means the government of the Client’s country.
(h) “Instructions to Consultants” (Section 2 of the RFP) means the
document which provides shortlisted Consultants with all information
needed to prepare their Proposals.
(i) “LOI” (Section 1 of the RFP) means the Letter of Invitation being sent
by the Client to the shortlisted Consultants.
(j) “Personnel” means professionals and support staff provided by the
Consultant or by any Sub-Consultant and assigned to perform the
Services or any part thereof; “Foreign Personnel” means such
professionals and support staff who at the time of being so provided
had their domicile outside the Government’s country; “Local Personnel”
means such professionals and support staff who at the time of being so
provided had their domicile inside the Government’s country.
(k) “Proposal” means the Technical Proposal and the Financial Proposal.
(l) “RFP” means the Request For Proposal to be prepared by the Client for
the selection of Consultants, based on the SRFP.
(m) “SRFP” means the Standard Request for Proposals, which must be
used by the Client as a guide for the preparation of the RFP.
(n) “Services” means the work to be performed by the Consultant pursuant
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to the Contract.
(o) “Sub-Consultant” means any person or entity with whom the Consultant
subcontracts any part of the Services.
(p) “Terms of Reference” (TOR) means the document included in the RFP
as Section 5 which explains the objectives, scope of work, activities,
tasks to be performed, respective responsibilities of the Client and the
Consultant, and expected results and deliverables of the assignment.
1. Introduction 1.1 The Client named in the Data Sheet will select a consulting
firm/organization (the Consultant) from those listed in the Letter of
Invitation, in accordance with the method of selection specified in the
Data Sheet.
1.2 The shortlisted Consultants are invited to submit a Technical Proposal
and a Financial Proposal, or a Technical Proposal only, as specified in
the Data Sheet, for consulting services required for the assignment
named in the Data Sheet. The Proposal will be the basis for contract
negotiations and ultimately for a signed Contract with the selected
Consultant.
1.3 Consultants should familiarize themselves with local conditions and
take them into account in preparing their Proposals. To obtain first-
hand information on the assignment and local conditions, Consultants
are encouraged to visit the Client before submitting a proposal and to
attend a pre-proposal conference if one is specified in the Data Sheet.
Attending the pre-proposal conference is optional. Consultants should
contact the Client’s representative named in the Data Sheet to arrange
for their visit or to obtain additional information on the pre-proposal
conference. Consultants should ensure that these officials are advised
of the visit in adequate time to allow them to make appropriate
arrangements.
1.4 The Client will timely provide at no cost to the Consultants the inputs
and facilities specified in the Data Sheet, assist the firm in obtaining
licenses and permits needed to carry out the services, and make
available relevant project data and reports.
1.5 Consultants shall bear all costs associated with the preparation and
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submission of their proposals and contract negotiation. The Client is
not bound to accept any proposal, and reserves the right to annul the
selection process at any time prior to Contract award, without thereby
incurring any liability to the Consultants.
Conflict of Interest
1.6 Bank policy requires that Consultants provide professional, objective,
and impartial advice and at all times hold the Client’s interests
paramount, strictly avoid conflicts with other assignments or their own
corporate interests and act without any consideration for future work.
1.6.1 Without limitation on the generality of the foregoing, Consultants,
and any of their affiliates, shall be considered to have a conflict of
interest and shall not be recruited, under any of the circumstances set
forth below:
Conflicting activities
(i) A firm that has been engaged by the Client to provide goods, works or
services other than consulting services for a project, and any of its
affiliates, shall be disqualified from providing consulting services
related to those goods, works or services. Conversely, a firm hired to
provide consulting services for the preparation or implementation of a
project, and any of its affiliates, shall be disqualified from subsequently
providing goods or works or services other than consulting services
resulting from or directly related to the firm’s consulting services for
such preparation or implementation. For the purpose of this paragraph,
services other than consulting services are defined as those leading to
a measurable physical output, for example surveys, exploratory
drilling, aerial photography, and satellite imagery.
Conflicting assignments
(ii) A Consultant (including its Personnel and Sub-Consultants) or any of
its affiliates shall not be hired for any assignment that, by its nature,
may be in conflict with another assignment of the Consultant to be
executed for the same or for another Client. For example, a Consultant
hired to prepare engineering design for an infrastructure project shall
not be engaged to prepare an independent environmental assessment
for the same project, and a Consultant assisting a Client in the
privatization of public assets shall not purchase, nor advise purchasers
of, such assets. Similarly, a Consultant hired to prepare Terms of
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Reference for an assignment should not be hired for the assignment in
question.
Conflicting relationships
(iii) A Consultant (including its Personnel and Sub-Consultants) that has a
business or family relationship with a member of the Client’s staff who
is directly or indirectly involved in any part of (i) the preparation of the
Terms of Reference of the assignment, (ii) the selection process for
such assignment, or (iii) supervision of the Contract, may not be
awarded a Contract, unless the conflict stemming from this relationship
has been resolved in a manner acceptable to the Bank throughout the
selection process and the execution of the Contract.
1.6.2 Consultants have an obligation to disclose any situation of actual or
potential conflict that impacts their capacity to serve the best interest of
their Client, or that may reasonably be perceived as having this effect.
Failure to disclose said situations may lead to the disqualification of the
Consultant or the termination of its Contract.
1.6.3 No agency or current employees of the Client shall work as
Consultants under their own ministries, departments or agencies.
Recruiting former government employees of the Client to work for their
former ministries, departments or agencies is acceptable provided no
conflict of interest exists. When the Consultant nominates any
government employee as Personnel in their technical proposal, such
Personnel must have written certification from their government or
employer confirming that they are on leave without pay from their
official position and allowed to work full-time outside of their previous
official position. Such certification shall be provided to the Client by the
Consultant as part of his technical proposal.
Unfair Advantage 1.6.4 If a shortlisted Consultant could derive a competitive advantage
from having provided consulting services related to the assignment in
question, the Client shall make available to all shortlisted Consultants
together with this RFP all information that would in that respect give
such Consultant any competitive advantage over competing
Consultants.
Fraud and Corruption
1.7 The Bank requires that all Borrowers (including beneficiaries of Bank
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loans), as well as Consultants participating in Bank-financed projects
adhere to the highest ethical standards, both during the selection
process and throughout the execution of a contract. In pursuance of
this policy, the Bank:
(a) defines, for the purpose of this paragraph, the terms set forth below as
follows:
(i) “corrupt practice” means the offering, giving, receiving, or
soliciting, directly or indirectly, of anything of value to influence the
action of a public official in the selection process or in contract
execution;
(ii) “fraudulent practice” means a misrepresentation or omission of
facts in order to influence a selection process or the execution of a
contract;
(iii) “collusive practices” means a scheme or arrangement between
two or more consultants with or without the knowledge of the
Borrower, designed to establish prices at artificial, noncompetitive
levels;
(iv) “coercive practices” means harming or threatening to harm,
directly or indirectly, persons or their property to influence their
participation in a procurement process, or affect the execution of a
contract.
(b) will reject a proposal for award if it determines that the Consultant
recommended for award has, directly or through an agent, engaged in
corrupt, fraudulent, collusive or coercive practices in competing for the
contract in question;
(c) will cancel the portion of the loan allocated to a contract if it determines
at any time that representatives of the Borrower or of a beneficiary of
the loan were engaged in corrupt, fraudulent, collusive or coercive
practices during the selection process or the execution of the contract,
without the Borrower having taken timely and appropriate action
satisfactory to the Bank to remedy the situation.
(d) will sanction a Consultant, including declaring the Consultant ineligible,
either indefinitely or for a stated period of time, to be awarded a Bank-
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financed contract if at any time determines that the Consultant has,
directly of through an agent, engaged in corrupt, fraudulent, collusive
or coercive practices in competing for, or in executing, a Bank-financed
contract; and
(e) will have the right to require that, in contracts financed by the Bank, a
provision be included requiring Consultants to permit the Bank to
inspect their accounts and records and other documents relating to the
submission of proposals and contract performance, and have them
audited by auditors appointed by the Bank.
1.8 Consultants, their Sub-Consultants, and their associates shall not be
under a declaration of ineligibility for corrupt and fraudulent practices
issued by the Bank in accordance with the above Para 1.7.
Furthermore, the Consultants shall be aware of the provisions on fraud
and corruption stated in the specific clauses in the General Conditions
of Contract.
1.9 Consultants shall furnish information on commissions and gratuities, if
any, paid or to be paid to agents relating to this proposal and during
execution of the assignment if the Consultant is awarded the Contract,
as requested in the Financial Proposal submission form (Section 4).
Origin of Goods and Consulting Services
1.10 Goods supplied and Consulting Services provided under the
Contract may originate from any country except if:
(i) as a matter of law or official regulation, the Borrower’s country
prohibits commercial relations with that country; or
(ii) by an act of compliance with a decision of the United nations
Security Council taken under Chapter VII of the Charter of the
United Nations, the Borrower’s Country prohibits any imports of
goods from that country or any payments to persons or entities in
that country.
Only one Proposal
1.11 Shortlisted Consultants may only submit one proposal. If a
Consultant submits or participates in more than one proposal, such
proposals shall be disqualified. However, this does not limit the
participation of the same Sub-Consultant, including individual experts,
to more than one proposal.
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Proposal Validity
1.12 The Data Sheet indicates how long Consultants’ Proposals must
remain valid after the submission date. During this period, Consultants
shall maintain the availability of Professional staff nominated in the
Proposal. The Client will make its best effort to complete negotiations
within this period. Should the need arise; however, the Client may
request Consultants to extend the validity period of their proposals.
Consultants who agree to such extension shall confirm that they
maintain the availability of the Professional staff nominated in the
Proposal, or in their confirmation of extension of validity of the
Proposal, Consultants could submit new staff in replacement, who
would be considered in the final evaluation for contract award.
Consultants who do not agree have the right to refuse to extend the
validity of their Proposals.
Eligibility of Sub-Consultants
1.13 In case a shortlisted Consultant intends to associate with
Consultants who have not been shortlisted and/or individual expert(s),
such other Consultants and/or individual expert(s) shall be subject to
the eligibility criteria set forth in the Guidelines.
2. Clarification and Amendment of RFP Documents
2.1 Consultants may request a clarification of any of the RFP documents
up to the number of days indicated in the Data Sheet before the
proposal submission date. Any request for clarification must be sent in
writing, or by standard electronic means to the Client’s address
indicated in the Data Sheet. The Client will respond in writing, or by
standard electronic means and will send written copies of the response
(including an explanation of the query but without identifying the
source of inquiry) to all Consultants. Should the Client deem it
necessary to amend the RFP as a result of a clarification, it shall do so
following the procedure under Para 2.2.
2.2 At any time before the submission of Proposals, the Client may amend
the RFP by issuing an addendum in writing or by standard electronic
means. The addendum shall be sent to all Consultants and will be
binding on them. Consultants shall acknowledge receipt of all
amendments. To give Consultants reasonable time in which to take an
amendment into account in their Proposals the Client may, if the
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amendment is substantial, extend the deadline for the submission of
Proposals.
3. Preparation of Proposals
3.1 The Proposal (see Para. 1.2), as well as all related correspondence
exchanged by the Consultants and the Client, shall be written in the
language (s) specified in the Data Sheet.
3.2 In preparing their Proposal, Consultants are expected to examine in
detail the documents comprising the RFP. Material deficiencies in
providing the information requested may result in rejection of a
Proposal.
3.3 While preparing the Technical Proposal, Consultants must give particular attention to the following:
(a) If a shortlisted Consultant considers that it may enhance its expertise
for the assignment by associating with other Consultants in a joint
venture or sub-consultancy, it may associate with either (a) non-
shortlisted Consultant(s), or (b) shortlisted Consultants if so indicated
in the Data Sheet. A shortlisted Consultant must first obtain the
approval of the Client if it wishes to enter into a joint venture with non-
shortlisted or shortlisted Consultant(s). In case of association with
non-shortlisted Consultant(s), the shortlisted Consultant shall act as
association leader. In case of a joint venture, all partners shall be
jointly and severally liable and shall indicate who will act as the leader
of the joint venture.
(b) The estimated number of Professional staff-months or the budget for
executing the assignment shall be shown in the Data Sheet, but not
both. However, the Proposal shall be based on the number of
Professional staff-months or budget estimated by the Consultants.
For fixed-budget-based assignments, the available budget is given in
the Data Sheet, and the Financial Proposal shall not exceed this
budget, while the estimated number of Professional staff-months shall
not be disclosed.
(c) Alternative professional staff shall not be proposed, and only one
curriculum vitae (CV) may be submitted for each position.
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Language (d) Documents to be issued by the Consultants as part of this assignment
must be in the language(s) specified in the Reference Paragraph 3.1 of
the Data Sheet. If Reference Paragraph 3.1 indicates two languages,
the language in which the proposal of the successful Consultant will be
submitted shall govern for the purpose of interpretation. It is desirable
that the firm’s Personnel have a working knowledge of the Client’s
national language.
Technical Proposal Format and Content
3.4 Depending on the nature of the assignment, Consultants are required
to submit a Full Technical Proposal (FTP), or a Simplified Technical
Proposal (STP). The Data Sheet indicates the format of the Technical
Proposal to be submitted. Submission of the wrong type of Technical
Proposal will result in the Proposal being deemed non-responsive. The
Technical Proposal shall provide the information indicated in the
following paras from (a) to (g) using the attached Standard Forms
(Section 3). Paragraph (c) (ii) indicates the recommended number of
pages for the description of the approach, methodology and work plan
of the STP. A page is considered to be one printed side of A4 or letter
size paper.
(a) (i) For the FTP only: a brief description of the Consultants’ organization
and an outline of recent experience of the Consultants and, in the case
of joint venture, for each partner, on assignments of a similar nature is
required in Form TECH-2 of Section 3. For each assignment, the
outline should indicate the names of Sub-Consultants/ Professional
staff who participated, duration of the assignment, contract amount,
and Consultant’s involvement. Information should be provided only for
those assignments for which the Consultant was legally contracted by
the Client as a corporation or as one of the major firms within a joint
venture. Assignments completed by individual Professional staff
working privately or through other consulting firms cannot be claimed
as the experience of the Consultant, or that of the Consultant’s
associates, but can be claimed by the Professional staff themselves in
their CVs. Consultants should be prepared to substantiate the claimed
experience if so requested by the Client.
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(ii) For the STP the above information is not required and Form TECH-
2 of Section 3 shall not be used.
(b) (i) For the FTP only: comments and suggestions on the Terms of
Reference including workable suggestions that could improve the quality/
effectiveness of the assignment; and on requirements for counterpart
staff and facilities including: administrative support, office space, local
transportation, equipment, data, etc. to be provided by the Client (Form
TECH-3 of Section 3).
(ii) For the STP Form TECH-3 of Section 3 shall not be used; the
above comments and suggestions, if any, should be incorporated into
the description of the approach and methodology (refer to following
sub-para. 3.4 (c) (ii)).
(c) (i) For the FTP, and STP: a description of the approach, methodology
and work plan for performing the assignment covering the following
subjects: technical approach and methodology, work plan, and
organization and staffing schedule. Guidance on the content of this
section of the Technical Proposals is provided under Form TECH-4 of
Section 3. The work plan should be consistent with the Work Schedule
(Form TECH-8 of Section 3) which will show in the form of a bar chart
the timing proposed for each activity.
(ii) For the STP only: the description of the approach, methodology and
work plan should normally consist of 10 pages, including charts,
diagrams, and comments and suggestions, if any, on Terms of
Reference and counterpart staff and facilities.
(d) The list of the proposed Professional staff team by area of expertise,
the position that would be assigned to each staff team member, and
their tasks (Form TECH-5 of Section 3).
(e) Estimates of the staff input (staff-months of foreign and local
professionals) needed to carry out the assignment (Form TECH-7 of
Section 3). The staff-months input should be indicated separately for
home office and field activities, and for foreign and local Professional
staff.
(f) CVs of the Professional staff signed by the staff themselves or by the
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authorized representative of the Professional Staff (Form TECH-6 of
Section 3).
(g) For the FTP only: a detailed description of the proposed methodology
and staffing for training, if the Data Sheet specifies training as a
specific component of the assignment.
3.5 The Technical Proposal shall not include any financial information. A
Technical Proposal containing financial information may be declared
non responsive.
Financial Proposals
3.6 The Financial Proposal shall be prepared using the attached Standard
Forms (Section 4). It shall list all costs associated with the assignment,
including (a) remuneration for staff (foreign and local, in the field and at
the Consultants’ home office), and (b) reimbursable expenses
indicated in the Data Sheet. If appropriate, these costs should be
broken down by activity and, if appropriate, into foreign and local
expenditures. All activities and items described in the Technical
Proposal must be priced separately; activities and items described in
the Technical Proposal but not priced, shall be assumed to be included
in the prices of other activities or items.
Taxes 3.7 The Consultant may be subject to local taxes (such as: value added or
sales tax, social charges or income taxes on non-resident Foreign
Personnel, duties, fees, levies) on amounts payable by the Client
under the Contract. The Client will state in the Data Sheet if the
Consultant is subject to payment of any local taxes. Any such amounts
shall not be included in the Financial Proposal as they will not be
evaluated, but they will be discussed at contract negotiations, and
applicable amounts will be included in the Contract.
3.8 Consultants may express the price of their services in a maximum of
three freely convertible currencies, singly or in combination. The Client
may require Consultants to state the portion of their price representing
local cost in the national currency if so indicated in the Data Sheet.
3.9 Commissions and gratuities, if any, paid or to be paid by Consultants
and related to the assignment will be listed in the Financial Proposal
Form FIN-1 of Section 4.
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4. Submission, Receipt, and Opening of Proposals
4.1 The original proposal (Technical Proposal and, if required, Financial
Proposal; see para 1.2) shall contain no interlineations or overwriting,
except as necessary to correct errors made by the Consultants
themselves. The person who signed the proposal must initial such
corrections. Submission letters for both Technical and Financial
Proposals should respectively be in the format of TECH-1 of Section 3,
and FIN-1 of Section 4.
4.2 An authorized representative of the Consultants shall initial all pages of
the original Technical and Financial Proposals. The authorization shall
be in the form of a written power of attorney accompanying the
Proposal or in any other form demonstrating that the representative
has been dully authorized to sign. The signed Technical and Financial
Proposals shall be marked “ORIGINAL”.
4.3 The Technical Proposal shall be marked “ORIGINAL” or “COPY” as
appropriate. The Technical Proposals shall be sent to the addresses
referred to in para. 4.5 and in the number of copies indicated in the
Data Sheet. All required copies of the Technical Proposal are to be
made from the original. If there are discrepancies between the original
and the copies of the Technical Proposal, the original governs.
4.4 The original and all copies of the Technical Proposal shall be placed in
a sealed envelope clearly marked “TECHNICAL PROPOSAL”. Similarly,
the original Financial Proposal (if required under the selection method
indicated in the Data Sheet) shall be placed in a sealed envelope
clearly marked “FINANCIAL PROPOSAL” followed by the Loan/TA number
and the name of the assignment, and with a warning “DO NOT OPEN
WITH THE TECHNICAL PROPOSAL.” The envelopes containing the
Technical and Financial Proposals shall be placed into an outer
envelope and sealed. This outer envelope shall bear the submission
address, reference number and title of the Loan, and be clearly
marked “DO NOT OPEN, EXCEPT IN PRESENCE OF THE OFFICIAL
APPOINTED, BEFORE [insert the time and date of the submission
deadline indicated in the Data Sheet]”. The Client shall not be
responsible for misplacement, losing or premature opening if the outer
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envelope is not sealed and/or marked as stipulated. This circumstance
may be case for Proposal rejection. If the Financial Proposal is not
submitted in a separate sealed envelope duly marked as indicated
above, this will constitute grounds for declaring the Proposal non-
responsive.
4.5 The Proposals must be sent to the address/addresses indicated in the
Data Sheet and received by the Client no later than the time and the
date indicated in the Data Sheet, or any extension to this date in
accordance with para. 2.2. Any proposal received by the Client after
the deadline for submission shall be returned unopened.
4.6 The Client shall open the Technical Proposal immediately after the deadline for their submission. The envelopes with the Financial Proposal shall remain sealed and securely stored.
5. Proposal Evaluation
5.1 From the time the Proposals are opened to the time the Contract is
awarded, the Consultants should not contact the Client on any matter
related to its Technical and/or Financial Proposal. Any effort by
Consultants to influence the Client in the examination, evaluation,
ranking of Proposals, and recommendation for award of Contract may
result in the rejection of the Consultants’ Proposal.
Evaluators of Technical Proposals shall have no access to the
Financial Proposals until the technical evaluation is concluded and the
Bank issues its “no objection”.
Evaluation of Technical Proposals
5.2 The evaluation committee shall evaluate the Technical Proposals on
the basis of their responsiveness to the Terms of Reference, applying
the evaluation criteria, sub-criteria, and point system specified in the
Data Sheet. Each responsive Proposal will be given a technical score
(St). A Proposal shall be rejected at this stage if it does not respond to
important aspects of the RFP, and particularly the Terms of Reference
or if it fails to achieve the minimum technical score indicated in the
Data Sheet.
Financial Proposals for QBS
5.3 Following the ranking of technical Proposals, when selection is based
on quality only (QBS), the first ranked Consultant is invited to negotiate
its proposal and the Contract in accordance with the instructions given
under para. 6 of these Instructions.
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Public Opening and Evaluation of Financial Proposals (only for QCBS, FBS, and LCS)
5.4 After the technical evaluation is completed and the Bank has issued its
no objection (if applicable), the Client shall inform the Consultants who
have submitted proposals the technical scores obtained by their
Technical Proposals, and shall notify those Consultants whose
Proposals did not meet the minimum qualifying mark or were
considered non responsive to the RFP and TOR, that their Financial
Proposals will be returned unopened after completing the selection
process. The Client shall simultaneously notify in writing Consultants
that have secured the minimum qualifying mark, the date, time and
location for opening the Financial Proposals. The opening date should
allow Consultants sufficient time to make arrangements for attending
the opening. Consultants’ attendance at the opening of Financial
Proposals is optional.
5.5 Financial Proposals shall be opened publicly in the presence of the
Consultants’ representatives who choose to attend. The name of the
Consultants and the technical scores of the Consultants shall be read
aloud. The Financial Proposal of the Consultants who met the
minimum qualifying mark will then be inspected to confirm that they
have remained sealed and unopened. These Financial Proposals shall
be then opened, and the total prices read aloud and recorded. Copy of
the record shall be sent to all Consultants and the Bank.
5.6 The Evaluation Committee will correct any computational errors. When
correcting computational errors, in case of discrepancy between a
partial amount and the total amount, or between word and figures the
formers will prevail. In addition to the above corrections, as indicated
under para. 3.6, activities and items described in the Technical
Proposal but not priced, shall be assumed to be included in the prices
of other activities or items. In case an activity or line item is quantified
in the Financial Proposal differently from the Technical Proposal, (i) if
the Time-Based form of contract has been included in the RFP, the
Evaluation Committee shall correct the quantification indicated in the
Financial Proposal so as to make it consistent with that indicated in the
Technical Proposal, apply the relevant unit price included in the
18
Financial Proposal to the corrected quantity and correct the total
Proposal cost, (ii) if the Lump-Sum form of contract has been included
in the RFP, no corrections are applied to the Financial Proposal in this
respect. Prices shall be converted to a single currency using the selling
rates of exchange, source and date indicated in the Data Sheet.
5.8 In the case of Fixed-Budget Selection, the Client will select the firm
that submitted the highest ranked Technical Proposal within the
budget. Proposals that exceed the indicated budget will be rejected. In
the case of the Least-Cost Selection, the Client will select the lowest
proposal among those that passed the minimum technical score. In
both cases the evaluated proposal price according to para. 5.6 shall be
considered, and the selected firm is invited for negotiations.
6. Negotiations
6.1 Negotiations will be held at the date and address indicated in the Data
Sheet. The invited Consultant will, as a pre-requisite for attendance at
the negotiations, confirm availability of all Professional staff. Failure in
satisfying such requirements may result in the Client proceeding to
negotiate with the next-ranked Consultant. Representatives
conducting negotiations on behalf of the Consultant must have written
authority to negotiate and conclude a Contract.
Technical negotiations
6.2 Negotiations will include a discussion of the Technical Proposal, the
proposed technical approach and methodology, work plan, and
organization and staffing, and any suggestions made by the
Consultant to improve the Terms of Reference. The Client and the
Consultants will finalize the Terms of Reference, staffing schedule,
work schedule, logistics, and reporting. These documents will then be
incorporated in the Contract as “Description of Services”. Special
attention will be paid to clearly defining the inputs and facilities
required from the Client to ensure satisfactory implementation of the
assignment. The Client shall prepare minutes of negotiations which will
be signed by the Client and the Consultant
Financial negotiations
6.3 If applicable, it is the responsibility of the Consultant, before starting
financial negotiations, to contact the local tax authorities to determine
the local tax amount to be paid by the Consultant under the Contract.
19
The financial negotiations will include a clarification (if any) of the firm’s
tax liability in the Client’s country, and the manner in which it will be
reflected in the Contract; and will reflect the agreed technical
modifications in the cost of the services. In the cases of QCBS, Fixed-
Budget Selection, and the Least-Cost Selection methods, unless there
are exceptional reasons, the financial negotiations will involve neither
the remuneration rates for staff nor other proposed unit rates. For other
methods, Consultants will provide the Client with the information on
remuneration rates described in the Appendix attached to Section 4 -
Financial Proposal - Standard Forms of this RFP.
Availability of Professional staff/experts
6.4 Having selected the Consultant on the basis of, among other things, an
evaluation of proposed Professional staff, the Client expects to
negotiate a Contract on the basis of the Professional staff named in
the Proposal. Before contract negotiations, the Client will require
assurances that the Professional staff will be actually available. The
Client will not consider substitutions during contract negotiations
unless both parties agree that undue delay in the selection process
makes such substitution unavoidable or for reasons such as death or
medical incapacity. If this is not the case and if it is established that
Professional staff were offered in the proposal without confirming their
availability, the Consultant may be disqualified. Any proposed
substitute shall have equivalent or better qualifications and experience
than the original candidate and be submitted by the Consultant within
the period of time specified in the letter of invitation to negotiate.
Conclusion of the negotiations
6.5 Negotiations will conclude with a review of the draft Contract. To
complete negotiations the Client and the Consultant will initial the
agreed Contract. If negotiations fail, the Client will invite the Consultant
whose Proposal received the second highest score to negotiate a
Contract.
7. Award of Contract
7.1 After completing negotiations the Client shall award the Contract to the
selected Consultant, publish in UNDB on line and in the Development
Gateway the award of the Contract, and promptly notify all Consultants
who have submitted proposals. After Contract signature, the Client
20
shall return the unopened Financial Proposals to the unsuccessful
Consultants.
7.2 The Consultant is expected to commence the assignment on the date
and at the location specified in the Data Sheet.
8. Confidentiality 8.1 Information relating to evaluation of Proposals and recommendations
concerning awards shall not be disclosed to the Consultants who
submitted the Proposals or to other persons not officially concerned
with the process, until the publication of the award of Contract. The
undue use by any Consultant of confidential information related to the
process may result in the rejection of its Proposal and may be subject
to the provisions of the Bank’s antifraud and corruption policy.
21
Instructions to Consultants DATA SHEET
Paragraph Reference
1.1 Name of the Client: Chandigarh State AIDS Control Society Method of selection: Least Cost Selection (LCS) i.e. of those firms that pass the minimum technical marks the one with the least financial score would be selected.
1.2 Financial Proposal to be submitted together with Technical Proposal:Yes Name of the assignment is: Internal Audit of NGOs and Peripheral Units working under Chandigarh SACS
1.4 The Client will provide the following inputs and facilities: The Client will share only the documents available with it regarding the assignment. No other support or facilities will be provided by the Client.
1.6.1 (a)
The Client envisages the need for continuity for downstream work: No
1.12 Proposals must remain valid upto 90 days after the submission date
2.1 Clarification/query if any, may be sought within 10 (Ten) days from issue of Request for Proposal on E-mail: [email protected] or through Telephonically on numbers: 0172 – 2783300, 2544589 on any working day during office hours.
3.1 Proposals shall be submitted in the following language: English
3.3 (a) Shortlisted Consultants may associate with other shortlisted Consultants: Yes
3.3 (b)
The estimated number of professional staff-months required for the assignment is: 21 man-months (i.e. 13/22 x 35 No. of Peripheral Units & NGOs) No. of NGOs / Peripheral Units may increase or decrease marginally.
3.4 The format of the Technical Proposal to be submitted is: FTP
3.4 (g) Training is a specific component of this assignment: No, please see the TOR for further details
22
3.6 (1) a per diem allowance in respect of Personnel of the Consultant for
every day in which the Personnel shall be absent from the home
office and, as applicable, outside the Client’s country for purposes of
the Services;
(2) cost of necessary travel, including transportation of the Personnel by
the most appropriate means of transport and the most direct
practicable route;
(3) cost of office accommodation, investigations and surveys;
(4) cost of applicable international or local communications such as the
use of telephone and facsimile required for the purpose of the
Services;
(5) cost, rental and freight of any instruments or equipment required to be
provided by the Consultants for the purposes of the Services;
(6) cost of printing and dispatching of the reports to be produced for the Services;
(7) other allowances where applicable and provisional or fixed sums (if any);
(8) cost of such further items required for purposes of the Services not covered in the foregoing.
3.7 Amounts payable by the Client to the Consultant under the contract to be subject to local taxation: Yes The Client will reimburse the Consultant for any such taxes paid by the Consultant
3.8 Consultant to state local cost in the national currency: Yes.
4.3 Consultant must submit: a. the original hard copy of Technical Proposal b. the original hard copy of Financial Proposal
4.5
The Proposal submission address is: Project Director, Chandigarh State AIDS Control Society, International Hostel, Near Congress Bhawan, Sector -15, Chandigarh Proposals must be submitted no later than the following date and time: January 03, 2020 at 05:00 PM.
5.2(b) Criteria, sub-criteria, and point system for the evaluation of Full Technical Proposals are:
Criteria Sub‐Criteria Max Score
1 Specific Experience of the audit firm relevant to the assignment
Experience in audit of projects supported by the World Bank
10
23
2 Adequacy of the proposed methodology and work plan in responding to the Terms of Reference and Bank / requirements
Quality of the audit methodology proposed for the assignment
25
Detailed Work Plan meeting the requirement of the assignment
5
Organization & staffing proposed for the assignment
5
3 Key Professional Staff qualifications & competence for the assignment of the Team Leader / Audit Partner
General Experience 3
Adequacy for the assignment 20
Experience in region and language 3
4 Key Professional Staff qualifications & competence for the assignment separately of the Audit Manager
General Experience 3
Adequacy for the assignment 20
Experience in region and language 6
TOTAL 100
5.6
The single currency for price conversions is: Indian Rupee
The source of official selling rates is: State Bank of India
The date of exchange rates is: as on the date of submission of the proposal
5.7 The formula for determining the financial scores is the following: NOT APPLICABLE
6.1 Expected date and address for contract negotiations: February 03, 2020
7.2 Expected date for commencement of consulting services at : with immediate effect
24
Section 3. Technical Proposal - Standard Forms [Comments in brackets [ ] provide guidance to the shortlisted Consultants for
the preparation of their Technical Proposals; they should not appear on the
Technical Proposals to be submitted.]
Refer to Reference Paragraph 3.4 of the Data Sheet for format of Technical
Proposal to be submitted, and paragraph 3.4 of Section 2 of the RFP for
Standard Forms required and number of pages recommended.
TECH-1 Technical Proposal Submission Form
TECH-2 Consultant’s Organization and Experience
A Consultant’s Organization
B Consultant’s Experience
TECH-3 Comments or Suggestions on the Terms of Reference and on
Counterpart Staff and Facilities to be provided by the Client
A On the Terms of Reference
B On the Counterpart Staff and Facilities
TECH-4 Description of the Approach, Methodology and Work Plan for
Performing the Assignment
TECH-5 Team Composition and Task Assignments
TECH-6 Curriculum Vitae (CV) for Proposed Professional Staff
TECH-7 Staffing Schedule
TECH-8 Work Schedule
25
FORM TECH-1 TECHNICAL PROPOSAL SUBMISSION FORM
[Location, Date]
To: [Name and address of Client] Dear Sirs: We, the undersigned, offer to provide the consulting services for [Insert title of assignment] in accordance with your Request for Proposal dated [Insert Date] and our Proposal. We are hereby submitting our Proposal, which includes this Technical Proposal, and a Financial Proposal sealed under a separate envelope1. We are submitting our Proposal in association with: [Insert a list with full name and address of each associated Consultant]2
We hereby declare that all the information and statements made in this Proposal are true and accept that any misinterpretation contained in it may lead to our disqualification. If negotiations are held during the period of validity of the Proposal, i.e., before the date indicated in Paragraph Reference 1.12 of the Data Sheet, we undertake to negotiate on the basis of the proposed staff. Our Proposal is binding upon us and subject to the modifications resulting from Contract negotiations. We undertake, if our Proposal is accepted, to initiate the consulting services related to the assignment not later than the date indicated in Paragraph Reference 7.2 of the Data Sheet. We understand you are not bound to accept any Proposal you receive. We remain,
Yours sincerely,
Authorized Signature [In full and initials]: Name and Title of Signatory: Name of Firm: Address:
1 [In case Paragraph Reference 1.2 of the Data Sheet requires to submit a Technical Proposal only, replace this sentence with: “We are hereby submitting our Proposal, which includes this Technical Proposal only.”]
2 [Delete in case no association is foreseen.]
26
FORM TECH-2 CONSULTANT’S ORGANIZATION AND EXPERIENCE
A - Consultant’s Organization [Provide here a brief (two pages) description of the background and
organization of your firm/entity and each associate for this assignment.]
27
B - Consultant’s Experience [Using the format below, provide information on each assignment for which your firm, and each associate for this assignment, was legally contracted either individually as a corporate entity or as one of the major companies within an association, for carrying out consulting services similar to the ones requested under this assignment. Use 20 pages.]
Assignment name:
Approx. value of the contract (in current US$ or Euro):
Country: Location within country:
Duration of assignment (months):
Name of Client:
Total No. of staff-months of the assignment:
Address:
Approx. value of the services provided by your firm under the contract (in current US$ or Euro):
Start date (month/year): Completion date (month/year):
No. of professional staff-months provided by associated Consultants:
Name of associated Consultants, if any:
Name of senior professional staff of your firm involved and functions performed (indicate most significant profiles such as Project Director/Coordinator, Team Leader):
Narrative description of Project: Description of actual services provided by your staff within the assignment:
Firm’s Name:
28
FORM TECH-3 COMMENTS AND SUGGESTIONS ON THE TERMS OF REFERENCE AND ON
COUNTERPART STAFF AND FACILITIES TO BE PROVIDED BY THE CLIENT
A - On the Terms of Reference
[Present and justify here any modifications or improvement to the Terms of
Reference you are proposing to improve performance in carrying out the
assignment (such as deleting some activity you consider unnecessary, or
adding another, or proposing a different phasing of the activities). Such
suggestions should be concise and to the point, and incorporated in your
Proposal.]
29
B - On Counterpart Staff and Facilities [Comment here on counterpart staff and facilities to be provided by the Client
according to Paragraph Reference 1.4 of the Data Sheet including:
administrative support, office space, local transportation, equipment, data,
etc.]
30
FORM TECH-4 DESCRIPTION OF APPROACH, METHODOLOGY AND WORK PLAN FOR PERFORMING
THE ASSIGNMENT [Technical approach, methodology and work plan are key components of the
Technical Proposal. You are suggested to present your Technical Proposal
(50 pages, inclusive of charts and diagrams) divided into the following three
chapters:
a) Technical Approach and Methodology,
b) Work Plan, and
c) Organization and Staffing,
a) Technical Approach and Methodology. In this chapter you should explain
your understanding of the objectives of the assignment, approach to the
services, methodology for carrying out the activities and obtaining the
expected output, and the degree of detail of such output. You should highlight
the problems being addressed and their importance, and explain the technical
approach you would adopt to address them. You should also explain the
methodologies you propose to adopt and highlight the compatibility of those
methodologies with the proposed approach.
b) Work Plan. In this chapter you should propose the main activities of the
assignment, their content and duration, phasing and interrelations, milestones
(including interim approvals by the Client), and delivery dates of the reports.
The proposed work plan should be consistent with the technical approach and
methodology, showing understanding of the TOR and ability to translate them
into a feasible working plan. A list of the final documents, including reports,
drawings, and tables to be delivered as final output, should be included here.
The work plan should be consistent with the Work Schedule of Form TECH-8.
c) Organization and Staffing. In this chapter you should propose the
structure and composition of your team. You should list the main disciplines of
the assignment, the key expert responsible, and proposed technical and
support staff.]
Page31
FORM TECH-5 TEAM COMPOSITION AND TASK ASSIGNMENTS
Professional Staff
Name of Staff Firm Area of Expertise
Position Assigned Task Assigned
Page32
FORM TECH-6 CURRICULUM VITAE (CV) FOR PROPOSED PROFESSIONAL STAFF
1. Proposed Position [only one candidate shall be nominated for each position]: 2. Name of Firm [Insert name of firm proposing the staff]: 3. Name of Staff [Insert full name]: 4. Date of Birth: Nationality: 5. Education [Indicate college/university and other specialized education of staff member, giving names of institutions, degrees
obtained, and dates of obtainment]: 6. Membership of Professional Associations: 7. Other Training [Indicate significant training since degrees under 5 - Education were obtained]: _______________________ 8. Countries of Work Experience: [List countries where staff has worked in the last ten years]: _______________________ 9. Languages [For each language indicate proficiency: good, fair, or poor in speaking, reading, and writing]: ____________ 10. Employment Record [Starting with present position, list in reverse order every employment held by staff member since
graduation, giving for each employment (see format here below): dates of employment, name of employing organization, positions held.]:
From [Year]: To [Year]:
Employer: Positions held:
Page33
11. Detailed Tasks
Assigned
[List all tasks to
be performed
under this
assignment]
12. Work Undertaken that Best Illustrates Capability to Handle the Tasks Assigned [Among the assignments in which the staff has been involved, indicate the following information for those assignments that best illustrate staff capability to handle the tasks listed under point 11.] Name of assignment or project: Year: Location: Client: Main project features: Positions held: Activities performed:
13. Certification: I, the undersigned, certify that to the best of my knowledge and belief, this CV correctly describes myself, my qualifications, and my
experience. I understand that any wilful misstatement described herein may lead to my disqualification or dismissal, if engaged.
Date: [Signature of staff member or authorized representative of the staff] Day/Month/Year Full name of authorized representative:
Page34
FORM TECH-7 STAFFING SCHEDULE
1
No Name of Staff Staff input (in the form of a bar chart)2 Total staff-month input
1 2 3 4 5 6 7 8 9 10 11 12 N Home Field3 Total
Foreign
1 [Home]
[Field]
2
3
n
SubtotalLocal
1 [Home]
[Field]
2
n
Subtotal Total
1 For Professional Staff the input should be indicated individually; for Support Staff it should be indicated by category (e.g.: draftsmen, clerical staff, etc.)
2 Months are counted from the start of the assignment. For each staff indicate separately staff input for home and field work.
3 Field work means work carried out at a place other than the Consultant's home office.
Full time input Part time input
Page35
FORM TECH-8 WORK SCHEDULE
N° Activity1 Months2
1 2 3 4 5 6 7 8 9 10 11 12 n
1 2 3 4 5 n
1 Indicate all main activities of the assignment, including delivery of reports (e.g.: inception, interim, and final reports),
and other benchmarks such as Client approvals. For phased assignments indicate activities, delivery of reports, and benchmarks separately for each phase.
2 Duration of activities shall be indicated in the form of a bar chart.
Page36
Section 4. Financial Proposal - Standard Forms [Comments in brackets [ ] provide guidance to the shortlisted Consultants for
the preparation of their Financial Proposals; they should not appear on the
Financial Proposals to be submitted.]
Financial Proposal Standard Forms shall be used for the preparation of the
Financial Proposal according to the instructions provided under para. 3.6 of
Section 2. Such Forms are to be used whichever is the selection method
indicated in Para 4. of the Letter of Invitation.
FIN-1 Financial Proposal Submission Form FIN-2 Summary of Costs FIN-3 Breakdown of Costs by Activity FIN-4 Breakdown of Remuneration FIN-5 Reimbursable expenses Appendix: Financial Negotiations - Breakdown of Remuneration Rates
Page37
FORM FIN-1 FINANCIAL PROPOSAL SUBMISSION FORM
[Location, Date] To: [Name and address of Client] Dear Sirs: We, the undersigned, offer to provide the consulting services for [Insert title of assignment] in accordance with your Request for Proposal dated [Insert Date] and our Technical Proposal. Our attached Financial Proposal is for the sum of [Insert amount(s) in words and figures1]. This amount is exclusive of the local taxes, which shall be identified during negotiations and shall be added to the above amount. Our Financial Proposal shall be binding upon us subject to the modifications resulting from Contract negotiations, up to expiration of the validity period of the Proposal, i.e. before the date indicated in Paragraph Reference 1.12 of the Data Sheet. Commissions and gratuities paid or to be paid by us to agents relating to this Proposal and Contract execution, if we are awarded the Contract, are listed below2: Name and Address of Agents
Amount and Currency Purpose of Commission or Gratuity
We understand you are not bound to accept any Proposal you receive. We remain,
Yours sincerely,
Authorized Signature [In full and initials]: Name and Title of Signatory: Name of Firm: Address:
1 Amounts must coincide with the ones indicated under Total Cost of Financial proposal in Form FIN-2.
2 If applicable, replace this paragraph with: “No commissions or gratuities have been or are to paid by us to agents relating to this Proposal and Contract execution.
Page38
FORM FIN-2 SUMMARY OF COSTS (QUARTERLY/HALF YEARLY)
Item
Costs (Quarterly/ Half yearly)
[Indicate
Foreign
[Indicate
Foreign
[Indicate
Foreign
[Indicate
Local Currency]
Total Costs of Financial Proposal 2
1 Indicate between brackets the name of the foreign currency. Maximum of three currencies; use as many columns
as needed, and delete the others.
2 Indicate the total costs, net of local taxes, to be paid by the Client in each currency. Such total costs must
coincide with the sum of the relevant Subtotals indicated in all Forms FIN-3 provided with the Proposal.
Page39
FORM FIN-3 BREAKDOWN OF COSTS (QUARTERLY/ HALF YEARLY) BY ACTIVITY
1
Group of Activities (Phase):2
Description:3
Cost component
Costs
[Indicate Foreign
Currency # 1]4
[Indicate Foreign
Currency # 2]4
[Indicate Foreign
Currency # 3]4
[Indicate Local Currency]
Remuneration5
Reimbursable Expenses 5
Subtotals
1 Form FIN-3 shall be filled at least for the whole assignment. In case some of the activities require different modes
of billing and payment (e.g.: the assignment is phased, and each phase has a different payment schedule), the Consultant shall fill a separate Form FIN-3 for each group of activities. For each currency, the sum of the relevant Subtotals of all Forms FIN-3 provided must coincide with the Total Costs of Financial Proposal indicated in Form FIN-2.
2 Names of activities (phase) should be the same as, or correspond to the ones indicated in the second column of Form TECH-8.
3 Short description of the activities whose cost breakdown is provided in this Form. 4 Indicate between brackets the name of the foreign currency. Use the same columns and currencies of Form FIN-
2. 5 For each currency, Remuneration and Reimbursable Expenses must respectively coincide with relevant Total
Costs indicated in Forms FIN-4, and FIN-5.
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FORM FIN-4 BREAKDOWN OF QUARTERLY / HALF YEARLY REMUNERATION
1 (This Form FIN-4 shall only be used when the Time-Based Form of Contract has been included in the RFP)
Group of Activities (Phase):
Name2 Position3 Staff-month Rate4
Input5
(Staff-months)[Indicate Foreign Currency # 1]6
[Indicate Foreign Currency # 2]6
[Indicate Foreign Currency # 3]6
[Indicate Local Currency]6
Foreign Staff
[Home] [Field]
Local Staff
[Home]
[Field]
Total Costs
1 Form FIN-4 shall be filled for each of the Forms FIN-3 provided. 2 Professional Staff should be indicated individually; Support Staff should be indicated per category (e.g.: draftsmen, clerical
staff). 3 Positions of Professional Staff shall coincide with the ones indicated in Form TECH-5. 4 Indicate separately staff-month rate and currency for home and field work. 5 Indicate, separately for home and field work, the total expected input of staff for carrying out the group of activities or phase
indicated in the Form. 6 Indicate between brackets the name of the foreign currency. Use the same columns and currencies of Form FIN-2. For
each staff indicate the remuneration in the column of the relevant currency, separately for home and field work. Remuneration = Staff-month Rate x Input.
Page41
FORM FIN-4 BREAKDOWN OF QUARTERLY / HALF YEARLY REMUNERATION
1 (This Form FIN-4 shall only be used when the Lump-Sum Form of Contract has been included in the RFP. Information to be provided in this Form shall only be used to establish payments to the Consultant for possible additional services requested by the Client)
Name2 Position3 Staff-month Rate4
Foreign Staff
[Home] [Field]
Local Staff
[Home] [Field]
1 Form FIN-4 shall be filled in for the same Professional and Support
Staff listed in Form TECH-7. 2 Professional Staff should be indicated individually; Support Staff
should be indicated per category (e.g.: draftsmen, clerical staff). 3 Positions of the Professional Staff shall coincide with the ones
indicated in Form TECH-5. 4 Indicate separately staff-month rate and currency for home and field
work.
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FORM FIN-5 BREAKDOWN OF QUARTERLY / HALF YEARLY REIMBURSABLE EXPENSES
1 (This Form FIN-5 shall only be used when the Time-Based Form of Contract has been included in the RFP)
Group of Activities (Phase):
No
Description2 Unit UnitCost3
Quantity [Indicate Foreign
Currency # 1]4
[Indicate Foreign
Currency # 2]4
[Indicate Foreign
Currency # 3]4
[Indicate Local
Currency]4 Per diem allowances Day International flights5 Trip
Miscellaneous travel expenses Trip
Communication costs between [Insert place] and [Insert place]
Drafting, reproduction of reports
Equipment, instruments, materials, supplies, etc.
Shipment of personal effects Trip Use of computers, software Laboratory tests.
Subcontracts
Local transportation costs
Office rent, clerical assistance
Training of the Client’s personnel 6
Total Costs
1 Form FIN-5 should be filled for each of the Forms FIN-3 provided, if needed. 2 Delete items that are not applicable or add other items according to Paragraph Reference 3.6 of the Data Sheet. 3 Indicate unit cost and currency. 4 Indicate between brackets the name of the foreign currency. Use the same columns and currencies of Form FIN-2. Indicate
the cost of each reimbursable item in the column of the relevant currency. Cost = Unit Cost x Quantity. 5 Indicate route of each flight, and if the trip is one- or two-ways. 6 Only if the training is a major component of the assignment, defined as such in the TOR.
43
Section 5. Terms of Reference
TERMS OF REFERENCE FOR AN AUDITOR FOR INTERNAL AUDIT OF PERIPHERAL UNITS AND STATUTORY AUDIT OF NGOS UNDER THE STATE AIDS CONTROL SOCIETY (SACS) UNDER
THE NATIONAL AIDS CONTROL PROGRAMME PHASE-IV Background The Chandigarh State AIDS Control Society is a registered Society which is
implementing the centrally sponsored Programme of National AIDS Control
Programme (NACP) being implemented by National AIDS Control Organisation
(NACO) as per the Letter of Undertaking between the Government of India and
State Government. The SACS implements the programme through its peripheral
units and through NGOs who implement targeted interventions and other
outreach activities like community care centres etc under the NACP. The TOR
has two parts one relating to the internal audit of the peripheral units under the
Health Department and the other relating to the statutory audit of the NGOs
implementing the targeted interventions.
Funds are received from the following sources: W Bank and DFID pooled
together known as TI Pool Funds, New Domestic Budget Scheme and from the
Global Fund for HIV/AIDS, TB & Malaria in channels called Rounds. For example
Round 2 for the Integrated Testing and Counseling Centres and Prevention of
Mother to Child Transmission; Round 4 for the Care, Support and Treatment of
People Living with HIV/AIDS, etc. All of which together constitute the NACP IV
financial envelope.
Objectives
Internal Audit is a control that functions by examining and evaluating the
adequacy and effectiveness of other controls throughout the organization. The
objective of the current internal audit is to seek a professional opinion on the
adequacy of internal control framework and adherence to the internal control
procedures provide in the various guidelines, manuals etc, identifying areas for
improvement and critical weaknesses, if any and that that funds received and
expenditure incurred for the accounting period are in accordance with the laid
down financial regulations, procurement procedures and other orders issued from
Page44
time to time and that proper accounts are maintained at all levels fund wise (New
DBS, TI Pool Fund and Round wise in case of GFATM).
The overall objective of the half-yearly audit of NGOs implementing the NACP is
to identify the weaknesses in the financial systems and the lacuna in the day to
day accounting practices. This approach should in turn lead to adherence to the
accounting standards and better transparency in the future.
It is imperative that the whole exercise shall be conducted as a form of capacity
building exercise for the respective TI s and should be a learning experience for
the accountants and other team members of the project. The audit shall not be a
routine affair and it is envisaged that it should not be conducted as a postmortem
exercise or a fault finding mechanism.
Scope:
(I) The scope of work will include a quarterly / half yearly internal audit of the
peripheral units other than NGOs i.e. ICTCs, Blood banks, medical colleges,
schools etc) which receive funds from the SACS for implementing project
activities. The responsibilities of the internal auditor includes reporting on the
adequacy of internal controls, the accuracy and propriety of transactions, the
extent to which assets are accounted for and safeguarded, and the level of
compliance with NACP-IV financial norms and State Government procedures. In
conducting the Audit, specific attention should be given to the following:
(a) The internal audit activities should include payment audit as well as
independent appraisals of the financial, operational and control activities of
the programme.
(b) Funds have been used in accordance with the condition of the relevant
financial norms and financial regulations with due attention to economy
and efficiency, and only for the purpose for which the financing was
provided.
(c) There is a proper financial and administrative delegation and expenditures
incurred/ advances provided are properly authorized as per the financial
and administrative delegation approved by the executive committee.
Comment on the adequacy of the delegation.
(d) Whether there is adequate segregation of duties and controls.
Page45
(e) Generally accepted accounting principles are followed by all entities who
are authorized to incur expenditure under National AIDS Control
Programme.
(f) Goods, works and services financed have been procured in accordance
with relevant provisions of the Procurement Manual. The procurement
checklist attached to the TOR will need to be completed for the contracts
verified in the audit.
(g) Adequate and proper supporting documents, namely, purchase orders,
tender documents, invoices, vouchers, receipts, pay bills, TA bills etc. are
maintained and linked to the transactions.
(h) whether clear linkages exists between the books of accounts and reports
presented to the SACS by the peripheral units.
(i) Expenditure incurred under NACP-IV is in accordance with the financial
norms prescribed in the NACP-IV framework or any other clarifications
issued from time to time.
(j) Expenditure is incurred with reference to the budget allocation approved
by the NACO. In case the budget allocation is exceeded proper re-
appropriation duly approved by the competent authority has been
obtained.
(k) Reconciliation of Bank Statements and accounts is regularly carried out on
a monthly basis.
(l) System of settlement of advances and whether the peripheral units are
timely in the settlement of advances; whether there is a system of
adequate review and approval before the settlement and there is evidence
of the review
(II) The audit shall be conducted in accordance with the Audit & Assurances
Standards issued by ICAI and shall assess the internal controls, accounting
principles used as well as those given in the Guidelines for Financial and
Procurement Systems for NGOs (Part II) and other instructions issued by NACO
from time to time. It shall examine all the evidences supporting the amounts and
disclosures in the financial statements. The specific areas shall include but not
limited to the following:
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1. Programmatic targets and project progress
To compare the achievement of various indicators with reference to the targets
fixed and approved by SACS as in the proposal. This shall be undertaken for
each of the following components:
a. No. of persons belonging to the target group to be contacted
b. No of STD patients to be treated
c. No. of condoms/needles to be distributed free and through social
marketing
d. No. of awareness programs / audio-visual programs/ advocacy
meetings to be conducted
e. No. of trainings conducted for the peer educators / outreach workers
f. No. of IEC materials to be developed and distributed
To determine whether a programmatic trail can be established with the
accounting trail. A few random expenditures shall be verified for clear basis and
need for their incurrence.
2. Terms and Conditions
To verify if the terms and conditions as specified in the contract and as agreed to
between the partners and CSACS in the grant agreement is adhered to in word
and spirit.
To determine whether all the technical reports, the expense statements, monthly
CMIS / SIMS, quarterly and annual performance reports had been submitted in
time as stipulated in the contracts.
3. Budgetary stipulations and expenditures
To verify the activity wise expenses statement for the four quarters and determine
if the total and the quarterly expenses are in line with the approved proposals and
the budgets. The timeliness of the activities and the expenditures in the line items
had to analyzed for each quarter. Any modifications from the budget, if found had
to be verified for written approval from CSACS.
4. Cash and Bank balances
The closing cash and bank balances of each of the four quarters had to be tallied
between the receipts and payments account and the balances as per the Cash
Book. The bank reconciliation statements also had to be verified during the audit.
The average cash holding in the project office had to be analyzed along with the
pattern of withdrawal from the banks and commented upon by the auditors.
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The accounting procedures adopted with reference to the loans taken shall be
studied and the methods of repayment clearly spelt out in the audit report.
The other grants received from SACS – for conducting events, World AIDS Day
Programs etc., had to be reconciled and necessary verifications done.
5. Vouchers
All the vouchers had to be necessarily scrutinized and verified whether the
expenses are charged to the correct items. It is also essential to list out the extent
of (%) of pucca and kutcha supporting documents that are attached with the total
split up of amounts. The approval status and the reporting dates (difference
between the actual service delivery and voucher submission) also need to be
verified.
The auditor should be able to sum whether the expenses are budget/ norm based
or need based. In this context, if any vouchers had been added/ inserted later to
cover up the budgeted expenses, those had to be tracked and commented upon.
6. Review of Expenditure on Drugs and Pharmaceuticals
The auditor shall review and confirm the expenditure incurred by the NGO/CBO
on drugs and pharmaceutical is within the limits indicated in the contract i.e.
Rs.1,50,000/- per annum and also check by scrutinizing the invoices to confirm
whether these have been supplied by firms included in the list of WHO-GMP
certified firms.
7. Verification of Registers
The audit report should also comment on the various registers maintained by the
partners like the medicine stock register, condom stock register (both free
distribution and social marketing), capital asset register, registers with the
proceedings of the focus group discussion, monthly meetings other awareness
programs, advocacy meetings etc.,
The medicine stock register along with the patient wise medicine register, will
give details on the average inventory, the issues without sufficient prescriptions/
patient cards etc.,
The attendance register shall also be checked (including that of peers) so as to
determine whether it matches with the salary disbursements. The IEC Stock and
distribution register had to match with the total production and distribution of
various types of IEC materials.
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8. Physical verification – Cash/ Medicine, Condoms, IEC materials and Capital assets
The cash in hand has to be physically tallied with the cash book and the advance
registers verified so that actual cash balance can be determined. The physical
verification of medicine stocks should be undertaken so that actual and recorded
stocks can be tallied and the details of expired medicines analyzed.
The capital inventory register has to be correlated with the actual capital
inventory in hand, if any. Both the condom registers – one for free distribution and
the other for social marketing of condoms had to be verified and better means of
managing registers for different brands can be suggested, if any.
Similarly, sample verification of stocks of condom and IEC materials has to be
done both centrally as well as that at the field level.
9. Visit to the clinics & stock verification
It is necessary for the audit team to visit the field of operation and the clinics to
have a complete understanding of the day to day operation of the partners. The
medicine and the condom stocks at the clinics should also be verified during
these field visits and correlated with the office register entries.
The delays in entry of stocks, the discrepancy between the registers at the clinics
and the central office should be identified if any and commented upon.
10. Systems and Controls
With reference to the overall utilization of the TI project grants, the cash book, the
general ledger, the quarterly financial reports and the SIMS / CMIS reports shall
be reconciled and a brief summary given.
The existing information systems, accounting procedures and the monitoring
activities of the project shall be discussed and suggestions given for
improvement. The cost effectiveness of service delivery to the community should
also be incorporated with innovative strategies for implementation. The existing
accounting controls and transparency in the system should be commented upon.
Suggestions and recommendations
As the annual audit exercise is to be undertaken more as a capacity building
measure for further strengthening of the TI team the audit report should
incorporate suggestions and recommendations for the future. The major issues
witnessed in the project shall be numbered and measures/ panacea proposed to
resolve each of these issues.
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In addition to the above the auditors are also expected to discuss in brief on
general recommendations for the betterment and efficient performance of the
project.
Sample & Frequency:
The peripheral units (like Blood Banks, ICTCs etc.) will be selected in a manner
such that each unit is covered at least once in a year. The frequency and
prioritization will be carried out by the SACS based on the number of such units,
the quantum of funds flowing to these units, whether it is a one time or a recurring
activity etc. NGO/ CBO (on site audit) will be done once in six months and the
peripheral units once every quarter. It should be ensured in the internal audit that
the prescribed accounting system including regular bank reconciliation is strictly
followed. This will include physical verification of assets, inventories etc. A
sample questionnaire (checklist) is provided below.
Timing for audit and submission of the audit report
Quarter of audit ending Audit of NGOs, DAPCU and Peripheral units
Submission of report
June July 16 to 30 August 15
Sept Oct 16-30 Nov 15
Dec Jan 16 -30 Feb15
March April 16 -30 May15
Outputs that will be required of the Internal Auditor
The internal auditors should furnish a quarterly/half yearly audit report (alongwith
the checklists) to the State Project Director with an executive summary of the
critical issues/ finding that require attention of the senior management. A copy of
the executive summary must be sent to NACO and a copy of the report must also
be placed with the Executive Committee of SACS. The report should be
structured in a manner giving the observations/ weaknesses, the implications,
suggestions for improvement and the management comments. The status of the
actions taken by the management on the recommendations of the previous report
should also be provided.
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General
Period of appointment: The auditor would be appointed initially for one year and
extended on annual basis for a period maximum of three years beginning from
April 1st 2019 and cover the financial years ending on March 31st 2020, 2021 and
2022 on the basis of satisfactory performance.
The auditor should be given access to all legal documents entered into with the
World Bank and DFID, Project Implementation Plan, books of accounts,
NGO/CBO guidelines, General Financial Rules, Procurement Manual, Financial
Management Manual, scheme books and any other information associated with
the programme and deemed necessary by the auditor.
Review
A review committee consisting of Project Director, head of the financial
management group at the Chandigarh State AIDS Control Society will review the
internal audit report submitted by the internal auditor and take further remedial
measures on the discrepancies pointed out in internal audit.
Report
A checklist (covering FM and procurement issues at Annex 1-4) is provided
alongwith the TOR as a guidance to the internal auditors. This should be
attached and submitted alongwith the audit report.
The audit report for the NGOs should include comments on each of the specific
areas mentioned above, but it should not be restricted to the above only. Any
discrepancies and deviations from the standard accounting practices and the
MOU/ Contract entered into with CSACS shall be sought for comments from the
Project Coordinator and his explanations should also be incorporated.
The audit report should have the following contents:
Introductory paragraph – stating that the audit has been conducted for the year
20XX–XX in accordance with the accounting standards and the following
documents were verified and studied for arriving at the findings.
Scope Paragraph – areas of audit, terms of reference, time spent by the audit
team and the methodology adopted for conducting the audit.
Findings– Under each head, the comments of the auditors along with the project
coordinators explanations for discrepancies, if any.
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Issues and Suggestions – The auditor should identify specific issues, which
need to be addressed and provide solutions and strategies for each of them.
Recommendations- The overall opinion of the auditor on the general
performance of the project shall be given under this head. The lack of systems
can be highlighted and recommendations given and also mention of some best
practices followed, if any.
The audit report should also contain the formal certification letters namely - ‘True
and Fair” certificate and the annual ‘Fund Utilization Certificate’, giving the
breakup of the expenditure by activities separately indicating the expenditure on
drugs and pharmaceuticals.
Key Personnel
The key personnel in the audit team, their minimum qualifications, and their
anticipated inputs are indicated below:
(a) The audit team should be led a Chartered Accountant with a minimum
5 years experience in audit.
(b) The overall work of the audit team should be supervised a partner who
is a chartered accountant and should have atleast 15 years of
experience.
(c) The audit team should include sufficient number of appropriate staff
(Articles/Audit Clerks and other audit staff), commensurate with the
size and scope of the assignment.
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WORK LOAD
Methodology
There shall be a half a day’s briefing session to the auditor’s teams so that they
get sensitized before their audit visits. The issues, which will be covered, include:
Introduction on SACS, Technical Support Unit and the Targeted
interventions
The National AIDS Control Programme related issues
Components of TI and its functioning
Financial procedures and guidelines of NACO/SACS
Audit as a Capacity building process rather than as a Policing mechanism
A team of two auditors shall spend 2-3 days in the office (Peripheral
Unit/NGO) and another day at the blood bank etc/NGO’s field or clinic. On
completion of this, they shall spend another few days in preparing the audit
report.
Work Estimation
Depending on the size of the Audit Firm work would be entrusted. The basic team composition is indicated below: Audit Team
Partner * 10 days per quarter (not for field Visit)
Qualified Professional Staff
Chartered Accountant 3 days per Peripheral Unit /NGO
Semi Qualified Assistants:
CA Articled Students having completed
at least 02 years of articleship
3 days per Peripheral Unit/NGO and 2
days field visit
CA Articled Students with more than 01
year of articleship
3 days per Peripheral Unit /NGO and
2 days field visit
Reimbursements ** - Boarding & Lodging, Travel Costs, & Other Contingencies
subject to ceilings which will be specified by the SACS
* the partner is not expected to travel for audits on a normal basis but for overall
management of the assignment, coordination & report writing
** Actuals based on submission of bills The required number of man-months would be = No. of mandays 13/22 x (No. of
Peripheral Unit +No. of NGOs receiving funds from SACS)
(A month is reckoned to have 22 working days)
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List of Audit Units
SL No.
Name of Peripheral Unit
Address Contact Person
Contact Tel./ Mobile No.
Funds received in Previous FY
1 2 3 4 5 6 SL No. Name of Peripheral Unit
(Blood Bank, ART Centre etc.)
Address of Peripheral unit
Contact Person
Funds received in Previous FY
1 2 3 4 5
SL No. Name of NGO
Address Contact Person
Contact Tel./ Mobile No.
Funds received in Previous FY
1 2 3 4 5 6
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ANNEX 1: CHECKLIST FORMAT S. No.
Activity Particulars Y N Remarks
1 NGOs Selection/TSU Is there a TSU to support NGO/CBO activities
and does it have a finance staff Has the financial management capacity of the
NGO been assessed by the TSU and the process documented during the selection process.
Is there any critical FM capacity issues identified during selection process? How are these issues planned to be addressed?
Are contract files maintained properly? Does the contract with the NGO contain the
Financial Management aspects? FM Staffing and Training
Does the NGO/CBO have the required FM Staff? Has the current staff been trained on financial management under the project?
Flow of Funds Are the tranche releases to NGOs in
compliance with the contractual obligations and in adherence to the NGO/CBO guidelines? Also, comment on timeliness of releases by SACS.
Are funds released to NGOs/CBOs without settlement of previous advance or without receipt of quarterly financial report? Accounting Are accounts maintained as per the requirements of NGO/CBO Guidelines? Are the accounts updated? Financial Reporting
Check SOEs submitted during the period under audit against books of accounts and certify the correctness of the SOEs and eligibility of expenditure
Is the NGO/CBO timely in submitting financial reports to the SACS? Please comment on the reasons for delay, what actions are being taken by the NGO/CBO to address this issue? Internal Audit – Compliance
Has the NGO/CBO submitted timely and satisfactory compliance on the audit of previous period(s)?
External Audit Have annual audited financial statements
received by SACS from the NGOs? Recovery from NGOs
Were any recoveries made from the NGOs
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pursuant to audit objections? Review by TSU
Are on site visits to the NGOs made by the finance staff of the TSU?
Is the financial review of NGOs by the TSU adequate in terms of the quality and frequency?
2 Peripheral Units
Sanction / Flow of Funds Has a sanction letter been issued to the
peripheral unit for the proposed activity? Are the financial management, financial
reporting and date of settlement of advance indicated in the sanction letter?
Is the settlement of advance received by peripheral units from SACS done on time and is it supported by a proper utilization certificate?
Are subsequent tranches released to peripheral units without settlement of the first advance? Financial Reporting
Check SOEs/UCs submitted during the period under audit against books of accounts and certify the correctness of UC/SOE and eligibility of expenditure
Comment on the quality and adequacy of the financial records maintained by the peripheral units (for the sample covered during the course of quarterly internal audit). Attach a separate sheet where necessary.
Comment on internal controls e.g., cash payments above the limit, proper authorization of payments etc.
3 Payments and receipts
Are the payments for expenditures in line with the approved annual work plan?
Are the payments properly approved in line with the financial delegation?
Are the supporting documents adequate, filed properly and easily accessible?
Salary Payments: are payments supported by adequate and updated staff records (signed contracts, attendance register etc.)?
Comment on timeliness of payments, including salary payments.
Is there a serial control over payment, receipt and journal vouchers?
Are the expenditures/ payments charged to the correct account code and head of expenditure?
Is the system generated voucher used as the basis for approval of payments?
Comment on a process flow and what improvements that can be made?
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4 Overall Monitoring of advances
Is the system for monitoring and control of advances (including staff advances) adequate? Are advances register updated?
Is there a large number of overdue advances? Is an ageing report generated for review by the
Project Director on a periodic basis? Are adequate actions taken by NGO/peripheral
units for recovery of advances?
5 Operation of bank account
Is there a dedicated bank account for the project and are all cheques signed by two signatories?
Is the bank reconciliation carried out on a monthly basis and checked and signed by the signatories?
Are there any un-reconciled or un-accounted for balances?
Are payments made by crossed cheque/ draft? Is there adequate physical control over cash,
receipt books and blank cheque books?
6 Fixed Assets and Stocks
Have the procurement procedures prescribed in by NACO followed by NGOs for procurement of assets?
Are these supported by adequate and valid supporting documents?
Are the assets procured documented in the fixed assets register mentioning location etc?
Carry out a sample verification of fixed assets in NGOs/CBOs and the peripheral units/ DAPCU.
Are assets received in kind also recorded in the fixed asset register, mentioning the date of receipt, location etc.
Has any material been purchased for the activity?
Has the purchased material been entered in the stock register? Is it upto date and physical stock is in agreement with book balances?
Is there a regular system of annual physical verification of assets and six-monthly verification of stocks?
7 Other Issues Any other issues that the firm may like to address
Signature of the CA Firm
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Annex 2: Post Award Checklist for Procurement of Works/Goods
Date of Audit State/District/Agency Description of Items procured Quantity Procurement Procedure used Briefly describe the Procedure adopted for inviting the bids
Dates of invitation of bids/tenders/quotes
Dates of receipt of bids/tenders/quotes Justification in case only one bid was invited (single sourcing/direct contracting)
Details of bids/tenders/quotes Invited and Received Bids invited from (name of bidder)
Address Bid submitted or Not
Quotes/Bid Price in increasing order
Whether the rates were negotiated Whether any price preference was given to any bidder
Contract Awarded to (alongwith reasons for ignoring lower offers, if any):
Name of the Supplier: Quantity Contract/PO Value Contract/PO Date
Items received on Payment released on Items inspected (reason if not available) Compliance of the agreed procurement procedure (if no, give reasons)
Remarks Note:
Fill the checklist separately for each of the Contracts audited. Enclose copy of Contract/PO, Invitation of Bid and Winning bid for each
contract
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Annex 3: Post Award Checklist for Hiring of Contract Staff/IEC/Other Consultants
Date of Audit State/District/Agency Description of Services Selection Procedure used Briefly describe the Procedure adopted for short listing and inviting proposals
Dates of invitation of proposal Dates of receipt of proposal Justification in case only one proposal was invited (single sourcing)
Details of Proposal Invited and Received Proposal invited from
Address Proposal submitted or Not
Quotes/Bid Price in increasing order
Date of technical evaluation Date of financial evaluation Whether the rates were negotiated Whether any preference was given to any bidder
Contract Awarded to (alongwith reasons for ignoring lower offers, if any):
Name of the Service Provider: Contract/PO Value Contract/PO Date
Contract completed on Payment released on Output inspected (reason if not available)
Compliance of the agreed procurement procedure (if no, give reasons)
Remarks Note: Fill the checklist separately for each of the Contracts audited. Enclose copy of Contract/PO, Invitation of Proposals and Winning Proposal
for each contract
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Annex 4: Qualitative Assessment Checklist Date of Audit
State/District/Agency
Whether the procuring entities were aware of
NACP-IV procurement guidelines
Whether dedicated procurement staffs were in
place? If no, who handles the procurement?
Whether the staff handling the procurement
had exposure or training related to the
procurement?
Feedback from procurement staff and other
officials met on how to reduce delays and
improve the process
Whether the procurement related documents
were available systematically?
Whether the procurement were directly
handled by the state societies or they had
used any procurement support agency in the
process?
Whether any of the contracts reviewed
included procurement of drugs and medical
supplies?
Whether the government procedure as
applicable for the operating expenditure are
being followed?
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Section 6. Standard Forms of Contract The attached Form of Contract shall be used.
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SAMPLE CONTRACT FOR CONSULTING SERVICES SMALL ASSIGNMENTS LUMP-SUM PAYMENTS (IBRD/IDA FINANCED)
CONTRACT
THIS CONTRACT (“Contract”) is entered into this [insert starting date
of assignment], by and between [insert Client’s name] (“the Client”)
having its principal place of business at [insert Client’s address], and
[insert Consultant’s name] (“the Consultant”) having its principal office
located at [insert Consultant’s address].
WHEREAS, the Client wishes to have the Consultant perform the
services hereinafter referred to, and
WHEREAS, the Consultant is willing to perform these services,
NOW THEREFORE THE PARTIES hereby agree as follows:
1. Services (i) The Consultant shall perform the services specified in Annex A,
“Terms of Reference and Scope of Services,” which is made an
integral part of this Contract (“the Services”).
(ii) The Consultant shall provide the personnel listed in Annex B,
“Consultant’s Personnel,” to perform the Services.
(iii) The Consultant shall submit to the Client the reports in the form and
within the time periods specified in Annex C, “Consultant’s
Reporting Obligations.”
2. Term The Consultant shall perform the Services during the period commencing
[insert starting date] and continuing through [insert completion date], or
any other period as may be subsequently agreed by the parties in writing.
3. Payment A. Ceiling For Services rendered pursuant to Annex A, the Client shall pay
the Consultant an amount not to exceed [insert amount]. This
amount has been established based on the understanding that it
includes all of the Consultant's costs and profits as well as any tax
obligation that may be imposed on the Consultant.
B. Schedule of Payments The schedule of payments is specified below:1
[insert amount and currency] upon the Client's receipt of a copy of
this Contract signed by the Consultant: Nil;
1 Modify, in order to reflect the output required, as described in Annex C.
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[insert amount and currency] upon the Client's receipt of the draft
report, acceptable to the Client: Nil; and
[insert amount and currency] upon the Client's receipt of the final
quarterly report, acceptable to the Client: 100% of the fee and
expenses for the quarter.
[insert amount and currency] Total
C. Payment Conditions Payment shall be made in [specify currency], no later than 30
days following submission by the Consultant of invoices in
duplicate to the Coordinator designated in paragraph 4.
4. Project Administration
A. Coordinator The Client designates Mr./Ms. [insert name] as Client's
Coordinator; the Coordinator will be responsible for the
coordination of activities under this Contract, for acceptance and
approval of the reports and of other deliverables by the Client and
for receiving and approving invoices for the payment.
B. Reports The reports listed in Annex C, “Consultant's Reporting
Obligations,” shall be submitted in the course of the assignment,
and will constitute the basis for the payments to be made under
paragraph 3.
5. Performance Standards
The Consultant undertakes to perform the Services with the highest
standards of professional and ethical competence and integrity. The
Consultant shall promptly replace any employees assigned under this
Contract that the Client considers unsatisfactory.
6. Confidentiality The Consultants shall not, during the term of this Contract and within two
years after its expiration, disclose any proprietary or confidential
information relating to the Services, this Contract or the Client's business
or operations without the prior written consent of the Client.
7. Ownership of Material
Any studies reports or other material, graphic, software or otherwise,
prepared by the Consultant for the Client under the Contract shall belong
to and remain the property of the Client. The Consultant may retain a
copy of such documents and software.
8. Consultant Not to be Engaged in Certain Activities
The Consultant agrees that, during the term of this Contract and after its
termination, the Consultant and any entity affiliated with the Consultant,
shall be disqualified from providing goods, works or services (other than
the Services and any continuation thereof) for any project resulting from
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or closely related to the Services.
9. Insurance The Consultant will be responsible for taking out any appropriate
insurance coverage.
10. Assignment The Consultant shall not assign this Contract or sub-contract any portion
of it without the Client's prior written consent.
11. Law Governing Contract and Language
The Contract shall be governed by the laws of India, and the language of
the Contract shall be English.
12. Dispute Resolution
Any dispute arising out of the Contract, which cannot be amicably settled
between the parties, shall be referred to adjudication/arbitration in
accordance with the laws of the Client's country.
FOR THE CLIENT FOR THE CONSULTANT Signed by ___________________ Signed by ___________________
Title: ______________________ Title: ________________________
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LIST OF ANNEXES
Annex A: Terms of Reference and Scope of Services Annex B: Consultant’s Personnel Annex C: Consultant’s Reporting Obligations